Full text of BATTERY EAST GROUP, LLC's X-17A-5 filed 2023-03-27 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Battery East Group, LLC** **Annual Audit Report** **December 31, 2022** {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response. 12 OMB APPROVAL SEC FILE NUMBER 8-69383 # ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE | Information Required Pursuant to Rules 178-3, 178-72, and Toa-7 under the Securities Exchange Act of 1934 | | | | | | | | |-----------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------|---------------------------------------------------|------------------------------|--------------------------------------------|--|--|--| | 12/31/22<br>FILING FOR THE PERIOD BEGINNING<br>AND ENDING | | | | | | | | | | MM/DD/YY | MM/DD/YY | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM: Battery East Group, LLC | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>ച Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | 915 Battery Street, 1st floor | | | | | | | | | (No. and Street) | | | | | | | | | San Francisco | California | | 94111 | | | | | | (City) | | (State) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Clark Tucker | 205-721-0507 | | tucker@scenicadvisement.comm | | | | | | (Name) | | (Area Code - Telephone Number)<br>(Email Address) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | Spicer Jeffries LLP | | | | | | | | | | (Name - If individual, state last, first, and middle name)<br>Denver | | | | | | | | 4601 DTC Boulevard | | | Go | 80237 | | | | | (Address)<br>10/20/2003 | | (State)<br>(City)<br>(Zip Code)<br>349 | | | | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports of an independent public | | | | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemp…Read the full text as markdown